MAN ADVISERS LLC of BOSTON, MA is an SEC-registered investment adviser (CRD 343021).
Compensation: % of AUM, Performance.
Clients served: High net worth, Investment cos.
| Name | Role | Location |
|---|---|---|
| Nadine Nmn Le Gall | CHIEF COMPLIANCE OFFICER | — |
| Heidi Ganina Roderick | VICE PRESIDENT | — |
| Chen Nmn Yang | SECRETARY | — |
| Ori Nmn Ben-Akiva | PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-02-12 | regulatory | ON APRIL 7, 2021, MAN GROUP PLC ("MAN"), AN ADVISORY AFFILIATE OF MAN ADVISERS LLC BASED IN LONDON, UK, AGREED TO PAY A FINE OF EURO 240,000 TO THE COMISION NACIONAL DEL MERCADO DE VALORES (THE "CNMV"), PURSUANT TO A SETTLED RESOLUTION, IN CONNECTION WITH THE CNMV'S FINDINGS THAT MAN HAD NOT COMPLIE… | Final | — |